STEFFES FINANCIAL, LTD
Adviser information for STEFFES FINANCIAL, LTD last updated from Form ADV on March 19th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Kansas, United States |
Employees
| Total Number of Employees | 6 |
|---|---|
| Investment Advisory/Research | 4 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 3 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 602 | $289.1M |
| Non-Discretionary | 75 | $206.0M |
| Total | 677 | $495.2M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 137 | $56.4M |
| HNW Individuals | 85 | $236.4M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 45 | $202.4M |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 51-100 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPension consulting services |
|---|---|
| Compensation | % of AUMHourly charges |
Identifiers
| SEC RIA File Number | 801-64179 |
|---|---|
| SEC ERA File Number | 801-64179 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 134530 |
| Legal Entity Identifier | None |
Principal Office
8655 COLLEGE BLVDSUITE 101
OVERLAND PARK
KS
United States
Monday - Friday, 8:30 AM TO 5:00 PM
Tel: 913-722-1111, Fax: 913-722-1120
Websites
Chief Compliance Officer
GRANT STEFFES
VICE PRESIDENT AND SECRETARY
8655 COLLEGE
OVERLAND PARK
KS
United States
Tel:
913-722-1111
Fax:
913-722-1120
G****@*******************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| STEFFES, GERALD, CLAIR | Individual | – | PRESIDENT | 08/1997 | > 75% |
| Steffes, Grant, Gerald | Individual | – | VICE PRESIDENT, SECRETARY AND CHIEF COMPLIANCE OFFICER | 11/2023 | < 5% |
| Steffes, Renee, Lynn | Individual | – | DIRECTOR | 11/2023 | < 5% |